Listing Information
NYSE Arca Annual Written Affirmation
- NYSE Arca Annual Written Affirmation
- NYSE Arca Annual Written Affirmation FAQ
- NYSE Arca Annual Written Affirmation - Exhibit A Template
- NYSE Arca Annual Written Affirmation - Exhibit B Template
- NYSE Arca Annual Written Affirmation - Exhibit C Template
Removals from Listings
The NYSE publishes two lists of issues pending delisting from the Exchange:
Exchange-initiated delisting
An issue is added to this list upon the Exchange's filing of a Form 25 with the SEC and remains posted until the application to delist the issue becomes effective with the SEC (generally 10 days).
Issuer-initiated delisting
An issue is added to this list one business day after the exchange is notified of the issuer's intent to voluntarily withdraw its listing by filing a Form 25 with the SEC, and remains posted until the issuer's application to delist becomes effective with the SEC.
Regulatory Reminder Letters
- 2016 ETP Compliance Reminders
- 2013 ETP Index Change Guidance Letter
- 2013 Record Data Notice Change Letter
Blue Sky Exemptions
By virtue of a Securities and Exchange Commission (SEC) order in January 1998 that designates NYSE Arca Tier I listed securities as covered securities for the purposes of Section 18(a) of the Securities Act of 1933, Tier I listings are afforded Blue Sky exemption from state securities laws in all 50 states (SEC Release No. 3-7494, January 2, 1998). Under the SEC's order, Section 18(a) preempts any state registration and fee requirements that would otherwise apply to Tier I listings. Tier II listings are afforded for issuer and non-issuer exemptions in the following states and jurisdictions except where noted below.
| State | Tier I | Tier II |
|---|---|---|
| Alabama | X | |
| Alaska | X | X |
| Arizona | X | X |
| Arkansas | X | X |
| California | X | 1 |
| Colorado | X | X |
| Connecticut | X | |
| Delaware | X | X |
| Florida | X | 1 |
| Georgia | X | X |
| Hawaii | X | X |
| Idaho | X | |
| Illinois | X | X |
| Indiana | X | |
| Iowa | X | |
| Kansas | X | X |
| Kentucky | X | |
| Louisiana | X | |
| Maine | X | |
| Maryland | X | |
| Massachusetts | X | X |
| Michigan | X | |
| Minnesota | X | |
| Mississippi | X | |
| Missouri | X | X |
| Montana | X | X |
| Nebraska | X | |
| Nevada | X | X |
| New Hampshire | X | |
| New Jersey | X | |
| New Mexico | X | X |
| New York | X | 2 |
| North Carolina | X | |
| North Dakota | X | |
| Ohio | X | |
| Oklahoma | X | 1 |
| Oregon | X | X |
| Pennsylvania | X | |
| Rhode Island | X | X |
| South Carolina | X | |
| South Dakota | X | |
| Tennessee | X | |
| Texas | X | X |
| Utah | X | 1 |
| Vermont | X | |
| Virginia | X | |
| Washington | X | |
| West Virginia | X | |
| Wisconsin | X | |
| Wyoming | X |
- Non-issuer exemption only
- Issuer transactions may be subject to notice filing requirements